Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Kindheart, Inc. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001617570 Filed Document 0001617570-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
Apellis Pharmaceuticals, Inc. See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised $24,000,000 Associated Brokers / Dealers N/A CIK Number 0001492422 Filed Document 0001492422-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pharmaceuticals Principal Place of Business KENTUCKY Revenue or Assets Decline to Disclose Type of Security Equity
Dolben Stoney Creek LLC See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $3,400,000 Associated Brokers / Dealers N/A CIK Number 0001617620 Filed Document 0001617620-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
AHL Cayman SPC: Class A Evolution Segregated Portfolio See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Man Investments Inc. CIK Number 0001576193 Filed Document 0001576193-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $90,602 Associated Brokers / Dealers Sean Devlin CIK Number 0001135856 Filed Document 0001135856-14-000248 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Argentiere Fund Ltd See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001616911 Filed Document 0000902664-14-003632 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Algorithmia Inc. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $2,583,128 Associated Brokers / Dealers N/A CIK Number 0001613773 Filed Document 0001613773-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
Applied Process Holdings, LLC See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $10,200,000 Associated Brokers / Dealers N/A CIK Number 0001617537 Filed Document 0001617537-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised $1,023,250 Associated Brokers / Dealers Michael Shannon CIK Number 0001135856 Filed Document 0001135856-14-000250 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Delaware Investments Real Estate Absolute Return Fund (Cayman), Ltd. See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001584859 Filed Document 0001140361-14-034084 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Waterfall Victoria ERISA Fund, Ltd. See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers M.D. Sass Securities, L.L.C. CIK Number 0001511871 Filed Document 0001511871-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SCM-BIOS Lung Therapeutics SPV, LP See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001617622 Filed Document 0001617622-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Equity
United States Debt Recovery XV, L.P. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001617198 Filed Document 0001617198-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEVADA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Chain, Inc. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $9,500,001 Associated Brokers / Dealers N/A CIK Number 0001572725 Filed Document 0001572725-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
WOODRIDGE EQUITY PARTNERS, L.P. See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001464419 Filed Document 0001464419-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MISSISSIPPI Revenue or Assets Decline to Disclose Type of Security Equity
Fusion Management Group LLC See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001527466 Filed Document 0001527466-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Investing Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
JOHCM Global Emerging Markets Opportunities Fund (DST) See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001617008 Filed Document 0001393725-14-000129 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CCC The Edison LLC See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $2,525,000 Associated Brokers / Dealers N/A CIK Number 0001610755 Filed Document 0001610755-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business NORTH CAROLINA Revenue or Assets $No Revenues Type of Security Equity
ALDEA Pharmaceuticals, Inc. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $24,058,143 Associated Brokers / Dealers N/A CIK Number 0001531984 Filed Document 0001531984-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
INTREXON CORP See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $28,634,166 Associated Brokers / Dealers N/A CIK Number 0001356090 Filed Document 0001356090-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business MARYLAND Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
Knox Payments, Inc. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $1,030,000 Associated Brokers / Dealers N/A CIK Number 0001616649 Filed Document 0001616649-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business VIRGINIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Prospero Opportunity Fund, L.P. See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001581763 Filed Document 0000935836-14-000491 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
ZIPRECRUITER, INC. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $63,000,122 Associated Brokers / Dealers N/A CIK Number 0001617553 Filed Document 0001140361-14-034103 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Peloton Equity I, L.P. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $80,000,000 Associated Brokers / Dealers N/A CIK Number 0001614272 Filed Document 0001614272-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Guggenheim Investment Advisors Multi-Strategy Fund, LLC See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Guggenheim Investor Services, LLC CIK Number 0001535433 Filed Document 0001535433-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
ARK Investment Fund 2014, LLC See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $675,000 Associated Brokers / Dealers N/A CIK Number 0001615836 Filed Document 0001245105-14-000022 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ARKANSAS Revenue or Assets Decline to Disclose Type of Security Equity
Luminal, Inc. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $9,999,998 Associated Brokers / Dealers N/A CIK Number 0001603449 Filed Document 0001603449-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
ARMADA WATER ASSETS INC See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised $15,000,000 Associated Brokers / Dealers N/A CIK Number 0001568996 Filed Document 0001596528-14-000005 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Environmental Services Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
SCHF OU, L.P. See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001556588 Filed Document 0001556588-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
1839 Fund I LLC See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001584669 Filed Document 0001584669-14-000001 Exclusions or Exemptions 506c Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets $$1 - $5,000,000 Type of Security Pooled Investment Fund
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $1,023,250 Associated Brokers / Dealers Stanley Eckert, Piers Hurley, Matthew Lasko, Jay Mechling, Megan Smith, and Jared Toren CIK Number 0001135856 Filed Document 0001135856-14-000249 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
GUGGENHEIM ONSHORE ACCESS FUND LLC See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001387866 Filed Document 0001387866-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
AEP-RXR LLC See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $1,825,000 Associated Brokers / Dealers Ansley Securities, LLC CIK Number 0001617499 Filed Document 0001617499-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
Delaware Investments Real Estate Absolute Return Fund (Master), Ltd. See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001584860 Filed Document 0001140361-14-034083 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Acequia Capital ClassPass LLC See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001617507 Filed Document 0001617507-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Indoor Harvest Corp See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $142,500 Associated Brokers / Dealers Chad Sykes CIK Number 0001572565 Filed Document 0001572565-14-000007 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Agriculture Principal Place of Business TEXAS Revenue or Assets $$1 - $1,000,000 Type of Security Equity
ABT Molecular Imaging, Inc. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $1,259,858 Associated Brokers / Dealers N/A CIK Number 0001473539 Filed Document 0001473539-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business TENNESSEE Revenue or Assets $$1 - $1,000,000 Type of Security Debt
Taurus CD 174 Centennial Towers TX LP See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $8,000,000 Associated Brokers / Dealers Linda Kassof and Robert Clifford CIK Number 0001617393 Filed Document 0001617393-14-000001 Exclusions or Exemptions 506c Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business MASSACHUSETTS Revenue or Assets $No Revenues Type of Security Equity
OrbitHCI, Inc. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $1,999,999 Associated Brokers / Dealers N/A CIK Number 0001617064 Filed Document 0001617064-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Stelliam Fund II LP See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001597834 Filed Document 0001315863-14-000520 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Little London Bancorp See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $16,500,000 Associated Brokers / Dealers Commerce Street Capital, LLC CIK Number 0001613922 Filed Document 0001140361-14-033724 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Commercial Banking Principal Place of Business COLORADO Revenue or Assets $No Revenues Type of Security Equity
Guggenheim Investment Advisors Equity Long/Short Fund, LLC See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Guggenheim Investor Services, LLC CIK Number 0001535435 Filed Document 0001535435-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
WasteZero Capital III, LLC See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $1,250,000 Associated Brokers / Dealers N/A CIK Number 0001614730 Filed Document 0001614730-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Debt
Sachem Head Offshore Ltd. See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001580215 Filed Document 0000902664-14-003628 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Palace Capital Partners LP See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001519497 Filed Document 0001519497-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW MEXICO Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Steele Casa Nueva LLC See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $736,840 Associated Brokers / Dealers N/A CIK Number 0001617047 Filed Document 0001104659-14-062437 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business COLORADO Revenue or Assets $No Revenues Type of Security Equity
ViaWest Select Strategies Fund, LP See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $60,000,000 Associated Brokers / Dealers ARI FINANCIAL SERVICES, INC. CIK Number 0001617681 Filed Document 0001617681-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business ARIZONA Revenue or Assets Decline to Disclose Type of Security Equity
ClarityAd Inc. See All Filings	D/A	2014-08-21 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001589540 Filed Document 0001589540-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
LADENBURG THALMANN FINANCIAL SERVICES INC See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $13,000,000 Associated Brokers / Dealers N/A CIK Number 0001029730 Filed Document 0001144204-14-051901 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business FLORIDA Revenue or Assets $Over $100,000,000 Type of Security Equity
EnerTrac, Inc. See All Filings	D	2014-08-21 00:00:00 UTC
Amount To Be Raised $1,876,311 Associated Brokers / Dealers N/A CIK Number 0001471536 Filed Document 0001471536-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-08-21 00:00:00 UTC Type of Offering D Industry Other Energy Principal Place of Business NEW HAMPSHIRE Revenue or Assets Decline to Disclose Type of Security Debt